Broker Dealers
Read about the industry's top broker-dealers, including news, analysis, commentaries and more.
In Trump v. Dimon, Years of Strain Culminate in $5B Suit
By Hannah LevittTrump says Dimon personally locked him out of the U.S. financial industry after he left the White House in 2021.
January 20, 2026
$1B Team Departs Raymond JamesRegulatory filings show the firm, led by Benjamin Cohen as managing partner, will custody with Schwab and Fidelity.
January 20, 2026
FINRA Sends Revised Outside Business Activity Rule to SECFINRA's new plan clarifies "a number of sticking points," including supervisory requirements for outside RIA activity, says ACA's Cooke.
January 20, 2026
Cetera Fined $1.1M Over AML, Other Failures: FINRACetera Advisors, Cetera Wealth Services and Cetera Investment Services were cited for supervisory compliance issues.
January 15, 2026
Raymond James to Buy $46B Clark Capital ManagementThe firm will become an independent boutique investment manager within Raymond James Investment Management.
January 13, 2026
Dimon Tells Investors to 'Trust Me' on JPMorgan's CostsThe bank faces higher expenses tied to incentive compensation for advisors and investments in AI.
January 13, 2026
Citi to Cut About 1,000 Jobs This WeekThe bank is culling its ranks as part of a plan announced two years ago to eliminate 20,000 jobs.
January 12, 2026
FINRA Plans to Beef Up Fraud RulesThe regulator is seeking feedback on ways to modernize its regulations as scams rise.